Managing Director, Broker-Dealer; U.S

Equiton is a Canadian real estate investment firm with a growing presence in the United States. As part of our U.S. expansion strategy, we are establishing a boutique, limited scope broker‑dealer focused on raising capital for private real estate investment offerings through direct‑to‑consumer (retail), RIA, and institutional investor channels.

We are seeking a Managing Director, Broker‑Dealer (U.S) to lead the launch, regulatory oversight, and strategic growth of our U.S. broker‑dealer. This individual will serve as the firm's designated Executive Representative and senior executive responsible for the overall leadership, operation, and development of the broker‑dealer.

This is a unique opportunity to join a well‑capitalized organization at an early stage and build a specialized distribution platform focused primarily on Reg D and Reg A offerings within the private real estate and alternative investment space.

The successful candidate will combine strong broker‑dealer leadership experience, deep knowledge of FINRA and SEC regulations, and a practical understanding of raising capital for private real estate investments. This individual will work closely with executive leadership in both Canada and the United States to establish a scalable, compliant, and growth‑oriented platform.

Location: Dallas, Texas (within commuting distance or willing to relocate)

• Serve as the firm's designated Executive Representative and senior leader for the FINRA‑registered broker‑dealer.
• Provide strategic leadership and day‑to‑day management of the broker‑dealer's operations, regulatory framework, and business activities.
• Ensure the firm operates in accordance with all applicable SEC, FINRA, and state regulatory requirements.
• Partner closely with Compliance, Legal, and supervisory principals to maintain a strong compliance culture.
• Act as a key liaison with regulators, external counsel, auditors, and industry service providers.
• Support regulatory examinations, inquiries, audits, and filings.
• Ensure adherence to the firm's Written Supervisory Procedures (WSPs), compliance program, and governance framework.

• Develop and execute the broker‑dealer's strategic growth plan.
• Build and expand capital raising capabilities focused on Direct to consumer investors, Independent financial advisors, Registered investment advisors (RIAs), High‑net‑worth and ultra‑high‑net‑worth investors and Family offices and select institutional relationships.
• Provide strategic guidance regarding distribution channels, product positioning, and market expansion opportunities.
• Collaborate with investment and executive leadership teams on new product launches and fundraising initiatives.
• Identify and cultivate strategic partnerships that support capital formation and long‑term growth.

• Build, lead, and develop a high‑performing U.S. broker‑dealer team.
• Establish scalable operational processes, infrastructure, and governance practices appropriate for a boutique broker‑dealer environment.
• Partner with executive leadership on budgeting, operational planning, and financial performance of the U.S. broker‑dealer.
• Drive accountability, performance management, and operational excellence across the organization.
• Foster a culture of integrity, professionalism, client service, and regulatory compliance.

• 10–15+ years of experience within the securities, wealth management, broker‑dealer, alternative investments, or capital markets industry.
• Senior leadership experience within a FINRA‑regulated broker‑dealer.
• Strong understanding of broker‑dealer operations, governance, and SEC, FINRA, and applicable state regulatory requirements.
• Experience supporting the distribution of alternative investments, including private placements, private real estate, REITs, private funds, or similar investment products.
• Experience with Reg D and/or Reg A investment offerings.
• Demonstrated success raising capital through retail, wholesale, independent financial advisor, RIA, and high‑net‑worth investor channels.
• Active FINRA Series 24 license.
• Active FINRA…